9AT: HOLDERNESS INVESTMENTS CO

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 08/14/1995
ADV Location	GREENSBORO, NC, United States
Contact Info	336 xxxxxxx
Websites

AUM^*	660,715,759 29%
of that, discretionary	641,606,039 32%
Number of Employees	8 33%
of those in investment advisory functions	6 50%
Private Fund GAV^*	0
Avg Account Size	849,249 13%
% High Net Worth	27.11% -30%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser MKD WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM505.7m	#Funds-
Adviser ALL TERRAIN FINANCIAL ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM379.2m	#Funds-
Adviser LODESTAR PRIVATE ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.3b	#Funds-
Adviser AVIANCE CAPITAL PARTNERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.1b	#Funds-
Adviser BRANDYWINE OAK PRIVATE WEALTH LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.6b	#Funds-
Adviser TOBIAS FINANCIAL ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.2b	#Funds-
Adviser STERLING FINANCIAL GROUP, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM16.1m	#Funds-
Adviser PRINCIPLE WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.2b	#Funds-
Adviser CHOREO, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM19.1b	#Funds-
Adviser O'BRIEN WEALTH PARTNERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.1b	#Funds-

Brochure Summary

Overview

Holderness primarily provides customized investment management services to high-net-worth individuals and associated trusts, estates, pension, profit- sharing plans, and other legal entities, (each a “Client” and collectively the “Clients”). Holderness generally invests Client assets in domestic and international stocks, bonds, mutual funds, and exchange traded funds (“ETFs”).
Holderness works with each Client to establish an appropriate Investment Profile. Holderness will work with each Client to document their respective Investment Profile, including: A description of the Client’s situation, risk profile, and objectives Explanation of the investment strategy that will be pursued; and Documenting any guidelines and/or restrictions.
Holderness was founded in 1995 and is owned by Richard Holderness and Kim Cummings Eder. As of December 31, 2023, Holderness managed approximately $486,052,778 on a discretionary basis and approximately $24,772,648 on a non-discretionary basis.
General Portfolio management fees are individually negotiated with each client, are based on a percentage of assets under management, and are generally subject to a maximum fee of one percent (1%), depending on the level of engagement. The specific advisory fees will be identified in the investment advisory agreement between the client and Holderness. Holderness may,

in its discretion, make exceptions to the foregoing or negotiate special fee arrangements where Holderness deems it appropriate under the circumstances.
Holderness charges fees quarterly in arrears based on an accounts average daily balance during the quarter. The account value upon which the fee is based will include the current fair market value of all your investments managed by Holderness. These may include mutual funds, ETFs, fixed annuity accounts, stocks, bonds, and other securities as noted above in the Advisory Business section. Most Clients authorize Holderness to deduct fees automatically from their brokerage accounts, but Clients may request that Holderness send quarterly invoices to be paid by check.
If a Client terminates the investment management agreement with Holderness in the middle of a billing period, Holderness will invoice the Client for an amount that is pro-rated based on the account’s average daily balance and the number of days that the account was managed during that quarter.
In addition to Holderness’s investment management fees, Clients bear trading costs and custodial fees. To the extent that Clients’ accounts are invested in mutual funds and/or ETFs that charge a separate layer of management, trading, and administrative expenses, the Client is responsible for paying those costs.

HOLDERNESS INVESTMENTS CO

HOLDERNESS INVESTMENTS CO

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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HOLDERNESS INVESTMENTS CO HOLDERNESS INVESTMENTS CO

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

HOLDERNESS INVESTMENTS CO

HOLDERNESS INVESTMENTS CO